Regulation & Compliance

Setting up retirement plans for your business clients can be risky. Nevertheless, there's a recipe for protecting yourself from unpleasant surprises. In the past two decades, registered reps have helped business clients establish thousands of 401...

Firms now fear that they paid too much up front to recruit brokers during the bull market. They want the money back. What's a broker to do?

Putting CFP, CIMA, ChFC, AEP etc. after your name may not matter for the book you have, but it matters for the book you want.

So, you've decided it's time to move up to a new professional designation. How do you go about it—and keep your day job?

...don't do the crime of lying to regulators.

The SEC, Congress, industry groups and even companies themselves are suggesting ways to straighten out the regulatory mess and give new gloss to investing.

The party’s over and the NASD is stuck with a hangover and the tab. Will it seek more broker fines to fill the gap?

What should you do when an unhappy client threatens you with a suit?

On one side is a growing group of WorldCom employee-shareholders, who are looking for more than $35 million that they claim was lost because of improper handling of their brokerage accounts. On the other side is Salomon Smith Barney, a major...

The Advocate: Raise Your Voices for Post-Enron Regulation